Trust status with the SEC. Such VC or PE Trust must also have qualifications in accordance with the rules, procedures and conditions as specified by the Director-General of the Revenue Department. The
submit the audited financial statements in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in IEC’s failure to submit the audited financial statements
systems of work related to the program trading in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.113
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement
in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 5/2020
Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with
(?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement Committee Meeting No. 2/2021 Settlement Committee
accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 2/2021 Settlement Committee